Compliance Officer (CO)

The Compliance Officer acts as the independent "second line of defense." The CO monitors the day-to-day legal health of the KRA and has the unique authority to report non-compliance directly to the regulator.

• Independent Surveillance & Auditing: Conduct routine, objective audits of internal systems, operational processes, and staff actions to ensure uncompromised adherence to the IFSCA KRA Regulations, master circulars, and the official Code of Conduct.
• Direct Escalation of Non-Compliance: If a breach, operational bypass, or legal violation occurs within the organization, the Compliance Officer is under regulatory obligation to immediately and independently report the matter directly to the IFSCA.
• SOP and Policy Development: Continuously translate shifting IFSCA circulars and guidance notes into actionable, step-by-step Standard Operating Procedures (SOPs) for the operations team.
• Investor Grievance Redressal: Build and maintain an impartial, efficient mechanism to handle customer complaints, resolve onboarding disputes, and manage grievances arising from verification delays.
• Regulatory Filings & Notifications: Certify compliance reports, coordinate annual external audit submissions, and ensure notifications regarding material structure updates are filed within mandatory timelines (e.g., within 15 days).
• Regulatory Requirement: Must possess matching professional/post-graduate educational requirements and hold a minimum of 8 years of experience in the financial services or compliance markets.